A Condensed History of the DOL's Fiduciary Rule
Regulations and guidance over the past decades have expanded and shrunk the definition of an ERISA investment advice fiduciary.
Source: plansponsor.com
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The Regulatory Trio: Long-Term Debt and Resolution Plan Proposals Signal Need for Greater Clarity and Simplification | Davis Wright Tremaine LLP
On August 29, 2023, the Board of Governors of the Federal Reserve System (FRB), the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation...
Source: jdsupra.com
District Court Vacates DOL Interpretation of Investment Advice | Groom Law Group, Chartered
Does combining a recommendation to take a rollover from a retirement plan with post-rollover advice mean that advice is being provided on a “regular basis” under the Department of...
Source: jdsupra.com
A Rollover Recommendation Is a Securities Recommendation | Faegre Drinker Biddle & Reath LLP
The Department of Labor considers a rollover recommendation to be a recommendation to liquidate the investments in a participant’s 401(k) account or to transfer (and change) securities....
Source: jdsupra.com
Best Interest Standard of Care for Advisors #92: Consideration of Costs in the Evaluation of Rollovers | Faegre Drinker Biddle & Reath LLP
The DOL’s expanded definition of fiduciary advice is described in the preamble to PTE 2020-02. The PTE then provides relief for conflicted non-discretionary recommendations (for...
Source: jdsupra.com